Thomas A. Unger
Professional summary
Thomas Albert Unger, who also goes by Thomas A Unger, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Chicago, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Albert Unger's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2008 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 222 West Adams Street, Suite 1775, Chicago, IL 60606December 1, 2000 - October 11, 2007
UBS SECURITIES LLC
July 1, 1994 - December 1, 2000
UBS FINANCIAL SERVICES INC.
September 13, 1991 - May 11, 1994
CITICORP SECURITIES, INC.
May 21, 1987 - July 23, 1991
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2008)
(6/6/2018)
(7/1/2008)
(7/23/2021)
(7/9/2014)
(8/30/2023)
(12/19/2022)
(7/1/2008)
(8/5/2011)
(7/1/2008)
(7/8/2014)
(4/12/2018)
(8/4/2023)
(7/17/2008)
(10/1/2015)
(7/1/2008)
(3/28/2019)
(12/10/2015)
(10/20/2011)
(10/1/2015)
(7/1/2008)
(6/13/2013)
(7/2/2008)
(10/1/2015)
(7/1/2008)
(12/16/2022)
(2/11/2019)
(10/1/2015)
(4/29/2020)
(10/2/2015)
(7/1/2008)
Exams
FINRA
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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